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Reports and Publications

Reports and Publications

 
This listing includes common periodic SEC reports.

Note: For periodic FOIA reports on Alternative Trading Systems, Fails-to-Deliver Data, Registered Investment Adviers and Broker Dealers, see Frequently Requested FOIA Documents. For occasional reports on current trends and issues facing the securities industry, see SEC Special Studies.
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Date Title Category
Dec. 30, 2008 SEC's Congressionally Mandated Study on Mark-to-Market Accounting (pdf)
Special Studies
Oct. 31, 2008 Report on Administrative Proceedings for Period April 1, 2008 through September 30, 2008 (pdf)
Special Studies
July 8, 2008 Summary Report of Issues Identified in the Commission Staff's Examinations of Select Credit Rating Agencies (pdf)
Special Studies
April 30, 2008 Report on Administrative Proceedings For Period October 1, 2007 through March 31, 2008 (pdf)
Special Studies
  
  
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